Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Follow the Leaders: The 2011 IA 25
By Editorial StaffIn the nine years that Investment Advisor has published the IA 25, weve never ranked the 25 in the order of their importance.
April 29, 2011
IRS High Net Worth Initiative: Fearsome Beast or Paper Tiger?Syracuse University study suggests IRS’ two-year-old HNW initiative may be “using more rhetoric than resources”
April 29, 2011
Disarray at SEC Is Complicating RIA ‘Switch’ to State OversightThe delay is the latest sign that the underfunded SEC is struggling to carry the burden heaped on it by Dodd-Frank.
April 28, 2011
SEC Moves Ahead on Credit Rating ProposalMembers of the U.S. Securities and Exchange Commission have voted 5-0 to seek public comments on a proposed rule that would remove references to credit ratings from SEC regulations.
April 28, 2011
SEC Moves Ahead on Credit Rating ProposalMembers of the U.S. Securities and Exchange Commission have voted 5-0 to seek public comments on a proposed rule that would remove references to credit ratings from SEC regulations.
April 28, 2011
SEC's Rominger: 12b-1, Money Market Fund Reform, ETF Oversight 'Extremely Important'Eileen Rominger, director of the SEC's Division of Investment Management, said Thursday that the heavy workload under Dodd-Frank had not deterred the agency from moving forward on “extremely important” issues like 12b-1 reform and oversight of ETFs.
April 27, 2011
Dale Brown, FSI: The Extended 2011 IA 25 ProfileAfter five years of outstanding advocacy on behalf of BDs and RIAs, the pressure's on to manage FSI's future growth.
April 27, 2011
SEC, CFTC Exclude Insurance Products from Swap Definition ProposalFederal agencies are proposing swaps regulations that would exclude insurance products written by regulated insurers from the definition of the term "swap."